SEC Form SC 13G filed

2/17/21 1:40:57 PM ET

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SC 13G 1 r13gSaratoga_PFD_1220.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1394 (Amendment No. )* SARATOGA INVESTMENT CORP 6.2 80349A505 December 31, 2020 Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [X] Rule 13d-1 (b) [ ] Rule 13d-1 (c) [ ] Rule 13d-1 (d) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). CUSIP No. 80349A505 1. Names of Reporting Persons. I.R.S. Identification Nos. of above persons Truist Financial Corporation as Parent Holding Company for BB&T Securities LLC in various fiduciary capacities. 56-0939887 2. Check the Appropriate Box if a Member of a Group (a) __________ (b) __________ 3. SEC Use Only 4. Citizenship or Place of Organization North Carolina Number of 5. Sole Voting Power 190,467. Shares Beneficially 6. Shared Voting Power 0. Owned by Each 7. Sole Dispositive Power 191,467. Reporting Person With 8. Shared Dispositive Power 0. 9. Aggregate Amount Beneficially Owned by Each Reporting Person 191,467. 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares* 11. Percent of Class Represented by Amount in Row (9) 7.936% 12. Type of Reporting Person* HC / BD UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Item 1. (a) Name of Issuer: SARATOGA INVESTMENT CORP. (b) Address of Issuer's Principal Executive Offices: 535 MADISON AVENUE NEW YORK NY 10022 Item 2. (a) Name of Person Filing: Truist Financial Corporation as Parent Holding Company for BB&T Securities LLC in various fiduciary capacities. (b) Address of Principal Business Office or, if none, Residence: 214 North Tryon Street Charolotte, NC 28202 (c) Citizenship: Truist Financial Corporation is a North Carolina corporation; BB&T Securities LLC is a Delaware Limited Liability Corporation. (d) Title of Class of Securities: Preferred Stock (e) CUSIP Number 80349A505 Item 3. If this statement is filed pursuant to SS240.13d-1(b) or 240.13-2(b) or (c), check whether the person filing is a: (a) [X] Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o); (b) [ ] Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c); (c) [ ] Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c); (d) [ ] Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8); (e) [ ] An investment adviser in accordance with SS240.13d-1(b)(1)(ii)(E); (f) [ ] An employee benefit plan or endowment fund in accordance with SS240.13d-1(b)(1)(ii)(F); (g) [X] A parent holding company or control person in accordance with SS240.13d-1(b)(1)(ii)(G); (h) [ ] A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); (i) [ ] A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); (j) [ ] Group, in accordance with SS240.13d-1(b)(1)(ii)(J). Item 4. Ownership Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1. (a) Amount beneficially owned: 191,467. (b) Percent of class: 7.936%. (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote 190,467. (ii) Shared power to vote or to direct the vote 0. (iii) Sole power to dispose or to direct the disposition of 191,467. (iv) Shared power to dispose or to direct the disposition of 0. Item 5. Ownership of Five Percent or Less of a Class If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following [ ]. Item 6. Ownership of More than Five Percent on Behalf of Another Person Various co-trustees may share the power to direct the receipt of income including dividends as well as the proceeds from sale of securities. Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company Not applicable Item 8. Identification and Classification of Members of the Group Not Applicable Item 9. Notice of Dissolution of Group Not Applicable Item 10. Certification By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. February 16, 2021 Date /s/ Robert R Magill Signature Robert R Magill / Vice President Name / Title Truist Financial Corporation 214 North Tryon Street Charlotte, NC 28292 February 16, 2021 Ladies and Gentlemen: There is hereby transmitted for filing pursuant to Section 13(g) of the Securities and Exchange Act of 1934 and Rule 13G thereunder a Schedule 13G relating to beneficial ownership by Truist Financial Corporation and its subsidiaries of shares of SARATOGA INVESTMENT CORP. Please call the undersigned at (252) 246-2190 if you have any questions. Sincerely, /s/ Robert R Magill Vice President

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SEC Form SC 13G filed

2/17/21 1:40:57 PM ET

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